Frequently Asked Questions

What is Avalon’s stance on E&O insurance?

We do not require our agents to purchase group E&O insurance.  In this way, we enable our agents to purchase the most economical insurance on the market.  We insist that our agents carry minimum coverage of $1 million/$1 million.

What kind of production minimum will I be expected to maintain? 

Our firm maintains one of the lowest production minimums in the securities industry.  In compliance with the FINRA ‘No parking” rules, our agents are required to produce a minimum of $12,000 in securities commissions paid.  Because we understand that many of our agents sell securities part-time as a value-added service to their main line of business, we include in our agents’ production all types of securities sales.

What kind of payout do you offer?

Our payout is negotiable and is currently between 70-85% of GDC.

How often does Avalon pay commissions?

Currently commissions are paid twice a month--on the 1st and the 15th of each month.

Can I become a branch office?

We curently do not have Branch Offices, but it is negotiable.

How is new business submitted?

All new business is submitted directly to the home office for processing.  Each sale must be accompanied by all properly completed Avalon Forms.

How do I receive my clients’ statements?  

As we support the industry shift toward the paperless office, we encourage all our agents to access client statements instantaneously on proprietary websites or websites such as DST Vision.

What kind of B/D is Avalon?

Avalon is currently engaged in the sales of Mutual Funds, Municipal Securities (currently limiting our business to 529 Plans), variable life insurance or annuities and tax shelters or limited partnerships in primary distributions and in the secondary market.  

Does Avalon utilize the services of a clearing house?

Not at this time but Avalon assists their agents when completing a change of broker/dealer on an existing mutual fund brokerage account.  In all other cases, Avalon acts as an application-way (check-and-app-to-sponsor) B/D.

What area does Avalon have registered representatives?

Avalon is currently registered in 26 states from the Northeast to the West Coast and will consider registration in other states as requested.

What is the selection of investment and insurance options with Avalon?

When properly licensed, you can offer your clients a vast array of mutual funds, variable life and annuities and some fixed products. For a complete list of all our investment partners, see the attached files.




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